Karri H. Keepers

ASSETMARK

Verona, WI

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CRD#: 4282068

Professional summary

Karri H Keepers, who also goes by Karri Kristine Herbel, is a registered financial advisor currently at ASSETMARK, INC. located in Verona, Wisconsin.

Karri is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Karri has worked at 3 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karri Kristine Herbel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karri H Keepers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 13, 2026 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

Verona, WI

Past

December 2, 2008 - July 2, 2014

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

WHITEHOUSE, OH

Past

November 2, 2000 - May 1, 2007

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(3/13/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/13/2026

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/1/2000

General Securities Representative Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA 94520-2445

Mailing Address

Phone number

(800) 664-5345

Established

Firm type

Fiscal year end

# of Employees

735

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK, INC. PART 2A (12/15/2025)

REFERRAL DISCLOSURE BROCHURE (12/15/2025)

PLATFORM DISCLOSURE BROCHURE (12/15/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

Regulatory assets under management

Total Number of Accounts	410,749
AUM (Assets Under Management)	$ 77,412,781,198

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
12/19/2024	Cover Page	Report
08/23/2024	Cover Page	Report
12/06/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Karri H. Keepers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karri H Keepers's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK, INC.

OBS BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2026

Series 7

Date: 11/1/2000

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

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